Course Handbook  Course Handbook

SEC Reporting and Practice Skills Workshop for Lawyers 2017

Publication Date: January 2017 Number of Volumes: 1
ISBN Number: na Page Count: 586 pages

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Table of Contents
Chapter 1: Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 2: Interesting Web Sites for Public Companies George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 3: Regulation FD Template: Policy on Communicating with Analysts, Security Holders and Others Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 4: Template: Press Release with Safe-Harbor Statement Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 5: Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 6: Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 7: SEC Frequent Comments: Recent Examples in Specific Areas (Updated July 2016) George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 8: Form 10-Q (December 4, 2014) George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 9: In the Matter of FFP Marketing Company, Inc., Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Release No. 51198 (February 14, 2005)
Chapter 10: Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel (Updated October 2016) Charles F Walker ~ Skadden, Arps, Slate, Meagher & Flom LLP
Alexandra M Arango ~ Skadden, Arps, Slate, Meagher & Flom LLP
Katherine V Lesker ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 11: Chapter 18, Ethical Dilemmas in Preparation and Review of SEC Filings, Practising Law Institute, Securities Filings 2016: Practical Guidance in a Changing Environment Lori B Metrock ~ Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
Chapter 12: Reminder List: A Creative Approach to Writing Your MD&A (December 2014) George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 13: SEC Guidance for Non-GAAP Measures George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 14: U.S. Securities and Exchange Commission, Non-GAAP Financial Measures, Compliance & Disclosure Interpretations (Last Update: May 17, 2016)
Chapter 15: Navigating the Safe Harbor for Forward-Looking Statements Boris Feldman ~ Wilson Sonsini Goodrich & Rosati
Chapter 16: Chapter 10: Regulation of Proxy Solicitations, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 17: U.S. Securities & Exchange Commission, Staff Observations in the Review of Executive Compensation Disclosure
Chapter 18: U.S. Securities & Exchange Commission, SEC Adopts Rule for Pay Ratio Disclosure: Rule Implements Dodd-Frank Mandate While Providing Companies with Flexibility to Calculate Pay Ratio (August 5, 2015)
Chapter 19: Template: Related Party Transactions Policy Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 20: Form 8-K: General Filing Requirements George M Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Carol A Stacey, MSA, CPA ~ Director, SEC Institute, a Division of PLI
Chapter 21: Latham & Watkins, Desktop Reference: 8-K Filing Events (January 2016)
Chapter 22: Keeping Current with Form 8-K: A Practical Guide (October 2014) Jennifer Zepralka ~ Partner, Wilmer Cutler Pickering Hale and Dorr LLP
Jonathan Wolfman ~ Wilmer Cutler Pickering Hale and Dorr LLP
Knute Salhus ~ Wilmer Cutler Pickering Hale and Dorr LLP
Chapter 23: Template: Trading Plan Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 24: Template: Insider Trading Compliance Policy Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 25: Template: Social Media Policy Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 26: Table 7-1: Rule 144 Decision Tree, from Chapter 7, Resales of Securities Under the Securities Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.

This Course Handbook was compiled for the program, SEC Reporting and Practice Skills Workshop for Lawyers 2017.

PLI’s nationally acclaimed course handbooks represent the definitive thinking on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Gary M Brown, CMG Life Services Inc.
George M Wilson, MBA, CPA, SEC Institute, a Division of PLI
Andrew W Winden, Rock Center for Corporate Governance, Stanford Law School
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